Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Provides Guidance to Private Equity on Seller Escrows

private equity

Investment Advisers, Private Equity The SEC has issued guidance to registered private equity advisers regarding escrow arrangements resulting from the sale of a portfolio company.  The guidance revolves around a circumstance involving the sale of a portfolio company owned by one or more pooled investment vehicles (typically private equity funds) advised by a registered investment adviser (i.e. a private […] Read more →

by   |   July 10, 2014

NASAA

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

Investment Advisers, Private Equity, Public Companies and Securities The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and... Read more →

by   |   July 9, 2014

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New C&DIs on Verification of Accredited Investor Status

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On July 3, 2014, the SEC released six new Compliance and Disclosure Interpretations relating to verification of prospective investors as accredited investors for purposes of Rule... Read more →

by   |   July 5, 2014

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Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On June 23, 2014, the Securities Industry and Financial Markets Association (SIFMA) published a memo outlining several specific methods for verifying accredited investor status... Read more →

by   |   June 28, 2014